UBS Group AG Files 6-K on Credit Suisse Shareholder Lawsuit

TL;DR

UBS 6-K drops details on Credit Suisse derivative lawsuit in NY Supreme Court.

AI Summary

UBS Group AG filed a Form 6-K on August 29, 2025, related to a shareholder settlement. The filing includes documents pertaining to a derivative lawsuit filed in the Supreme Court of the State of New York, County of New York, by the Employees Retirement System for the City of Providence against Urs Rohner and others, on behalf of Credit Suisse Group AG. This action is indexed under 651657/2.

Why It Matters

This filing provides insight into ongoing legal proceedings involving Credit Suisse, which could have implications for UBS following their acquisition.

Risk Assessment

Risk Level: medium — The filing relates to ongoing litigation stemming from Credit Suisse's past, which could present residual legal or financial risks for UBS.

Key Players & Entities

• UBS Group AG (company) — Registrant
• August 29, 2025 (date) — Filing Date
• Employees Retirement System for the City of Providence (company) — Plaintiff in derivative lawsuit
• Credit Suisse Group AG (company) — Nominal Defendant and subject of lawsuit
• Urs Rohner (person) — Defendant in lawsuit
• 651657/2 (legal_document_id) — Index Number for the lawsuit

FAQ

Key Financial Figures

• $115,000,000 — t provides for a cash payment of $115,000,000 (United States Dollars) (the "Sett
• $3,200,000 — enses in an amount not to exceed $3,200,000. In connection with the Fee and
• $10,000 — ourt for a Service Award not to exceed $10,000 to be paid solely from any Fee and Exp

Filing Documents

• shareholdersettlement.htm (6-K) — 624KB
• shareholdersettlementp15i2.gif (GRAPHIC) — 8KB
• shareholdersettlementp42i0.jpg (GRAPHIC) — 5KB
• shareholdersettlementp43i1.jpg (GRAPHIC) — 6KB
• shareholdersettlementp44i1.jpg (GRAPHIC) — 9KB
• shareholdersettlementp45i0.jpg (GRAPHIC) — 3KB
• shareholdersettlementp46i1.jpg (GRAPHIC) — 3KB
• shareholdersettlementp47i1.jpg (GRAPHIC) — 9KB
• shareholdersettlementp48i1.jpg (GRAPHIC) — 7KB
• 0001610520-25-000094.txt ( ) — 696KB

From the Filing

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 _________________ FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 Date: August 29, 2025 UBS Group AG (Registrant's Name) Bahnhofstrasse 45, 8001 Zurich, Switzerland (Address of principal executive office) Commission File Number: 1-36764 Indicate by check mark whether the registrants file or will file annual reports under cover of Form 20-F or Form 40- F. Form 20-F Form 40-F This Form 6-K consists of the documents that immediately follow this page. 1 SUPREME COURT OF THE STATE OF NEW YORK COUNTY OF NEW YORK EMPLOYEES RETIREMENT SYSTEM FOR THE shareholder of CREDIT SUISSE GROUP AG on behalf of CREDIT SUISSE GROUP AG, Plaintiff, v. URS ROHNER, et al ., Defendants, and CREDIT SUISSE GROUP AG, Nominal Defendant. Index No. 651657/2022 Hon. Andrea Masley NOTICE OF PENDENCY AND PROPOSED SETTLEMENT OF STOCKHOLDER DERIVATIVE ACTION EXHIBIT B The Supreme Court of the State of New York, County of New York, authorized this Notice. This is not a solicitation from a lawyer. TO: ALL PERSONS OR ENTITIES WHO OR WHICH HELD SHARES OF UBS GROUP AG ("UBS") (AS SUCCESSOR TO CREDIT SUISSE GROUP AG ("CREDIT SUISSE"), AND TOGETHER WITH ITS SUCCESSORS AND ASSIGNS , THE "COMPANY") COMMON STOCK AS OF THE CLOSE OF TRADING ON AUGUST 22, 2025 ("CURRENT UBS STOCKHOLDERS") . The purpose of this Notice is to inform you of: (i) the pendency of the stockholder derivative action captioned Employees Retirement System for the City of Providence v. Rohner, et al. , Index No. 651657/2022 (the "Action"), which was brought by plaintiff Employees Retirement System for the Providence ("Plaintiff"), on behalf of and for the benefit of Credit Suisse Group AG ("Credit Suisse," and together with its successors and assigns, the "Company"), in the Supreme Court of the New York, County of New York (the "Court"); (ii) a proposed settlement of the Action (the "Settlement"), of the Court, as provided in the Stipulation and Agreement of Settlement, Compromise, and Release dated August 21, 2025 (the "Stipulation of Settlement" or "Stipulation"); (iii) the hearing that the Court will hold on October 17, 2025, at 9:30 a.m. , to determine whether to approve the proposed Settlement and to consider the application by Plaintiff's Counsel for an award of attorneys' fees and litigation expenses, 2 1 including any service award to Plaintiff to be deducted solely from any fee and expense award to Plaintiff's Counsel; and (iv) Current UBS Stockholders' rights with respect to the proposed Settlement and the application for attorneys' fees and expenses. PLEASE READ THIS NOTICE CAREFULLY AND IN ITS ENTIRETY. YOUR RIGHTS WILL BE AFFECTED BY THE PROPOSED SETTLEMENT OF THIS ACTION. The Stipulation of Settlement was entered into as of August 21, 2025, between and among (i) Plaintiff, derivatively as a stockholder of Credit Suisse; (ii) UBS Group AG ("UBS"), as successor to Credit Suisse Group AG; (iii) Urs Rohner, Iris Bohnet, Christian Gellerstad, Andreas Gottschling, Michael Klein, Shan Li, Seraina Macia, Richard Meddings, Kai S. Nargolwala, Ana Paula Pessoa, Joaquin J. Ribeiro, Severin Schwan, and John Tiner (collectively, the "Former Director Defendants"); and (iv) Eric Varvel, Thomas P. Gottstein, Lara J. Warner, Brian Chin, David Miller, and Radhika Venkatraman (collectively, the "Former Executive Defendants," and together with the Former Director Defendants, the "Individual Defendants"; and the Individual Defendants together with Credit Suisse, "Defendants"), subject to the approval of the Court. As described in paragraph 23 below, the Settlement provides for a cash payment of $115,000,000 (United Dollars) (the "Settlement Amount"), which, after deducting any Court-awarded attorneys' fee and expenses and any applicable taxes, will be paid to the Company. Because the Action was brought as a derivative action, which means that the Action was brought by Plaintiff on behalf of and for the benefit of Credit Suisse, the cash recovery from the Settlement will go to UBS, as successor to Credit Suisse. Individual Company stockholders will not receive any direct payment from the Settlement. PLEASE NOTE: THERE IS NO PROOF OF CLAIM FORM FOR STOCKHOLDERS TO SUBMIT IN CONNECTION WITH THIS SETTLEMENT, AND STOCKHOLDERS ARE NOT REQUIRED TO TAKE ANY ACTION IN RESPONSE TO THIS NOTICE. WHAT IS THE PURPOSE OF THIS NOTICE? 1. The purpose of this Notice is to explain the Action, the terms of the proposed Settlement, and how the proposed Settlement affects Company stockholders' legal rights. 2. In a derivative

View Full Filing

View this 6-K filing on SEC EDGAR